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Livermore
ZHEN

UBS Oconnor LLC

SEC CIK
0001132716
Latest filing
Aug 14, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Jun 9, 2022. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
859
+37 vs. Q2 2021
Portfolio value
$11.5B
+$346.9M (+3.1%) vs. Q2 2021
Filed
Jun 9, 2022
AmendedSECSECSECSEC
Holdings of UBS Oconnor LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
Pathfinder Acquisition CorpG04119106CL A399,609$3.95M<0.1%−100,391−20.1%Reduced–
G Squared Ascend I IncG4204R109SHS CL A400,381$3.95M<0.1%+150,588+60.3%Added–
Healthcare Realty Trust Inc42225P501CL A NEW133,400$3.96M<0.1%+67,100+101.2%Added–
Software Acquisitn Grp Inc I83407J103COM CL A403,172$3.98M<0.1%+403,172New–
Citic Capital Acquisition CoG21513109COM CL A399,591$3.98M<0.1%00.0%Unchanged–
Isos Acquisition CorporationG4962C112SHARES CL A399,935$3.99M<0.1%−100,391−20.1%Reduced–
FZTFAST Acquisition Corp. IICL A411,849$4.00M<0.1%00.0%UnchangedHistory
Protalix BioTherapeutics, Inc.74365AAJ0NOTE 7.500% 9/0–$4.00M<0.1%–New–
Artemis Strategic Invt Corp04303A202UNIT 09/30/2026400,000$4.01M<0.1%+400,000New–
Carney Technology Acqu Corp143636108CL A COMMON STK410,707$4.01M<0.1%00.0%Unchanged–
DISADisruptive Acquisition Corp ICLASS A ORD SHS419,135$4.07M<0.1%00.0%UnchangedHistory
COINCoinbase Global, Inc.COM CL A18,000$4.09M<0.1%+3,000+20.0%AddedHistory
GSMFerroglobe PLCSHS475,000$4.13M<0.1%+475,000NewHistory
Athlon Acquisition Corp04748A106COM CL A424,787$4.15M<0.1%00.0%Unchanged–
WRACWilliams Rowland Acquisition Corp.COM421,645$4.18M<0.1%+421,645NewHistory
CFCF Industries Holdings, Inc.COM75,000$4.19M<0.1%−134,117−64.1%ReducedHistory
CHAACatcha Investment CorpSHS CL A431,902$4.21M<0.1%+331,902+331.9%AddedHistory
RWTRedwood Trust IncCOM328,600$4.24M<0.1%+257,600+362.8%AddedHistory
PRPCCC Neuberger Principal Holdings IIISHS CL A434,952$4.25M<0.1%+34,967+8.7%AddedHistory
KRCKilroy Realty CorpCOM64,400$4.26M<0.1%+2,100+3.4%AddedHistory
ADCAgree Realty CorpCOM64,379$4.26M<0.1%−5,740−8.2%ReducedHistory
Healthpeak Properties, Inc.71943U104COM242,300$4.27M<0.1%+22,000+10.0%Added–
MUSAMurphy USA Inc.COM25,965$4.34M<0.1%+25,965NewHistory
Envoy Medical, Inc.03737A101COM CL A449,804$4.36M<0.1%00.0%Unchanged–
TMACMusic Acquisition CorpCOM CLASS A449,983$4.38M<0.1%00.0%UnchangedHistory
ALBAlbemarle CorpStock20,000$4.38M<0.1%+20,000NewHistory
KL Acquisition Corp49837C109COM CL A449,786$4.39M<0.1%00.0%Unchanged–
CF Acquisition Corp V12520R106CL A444,157$4.40M<0.1%+44,172+11.0%Added–
Yucaipa Acquisition CorpG9879L105COM445,971$4.41M<0.1%00.0%Unchanged–
Apollo Strategic Growth CaptG0411R106SHS CL A451,762$4.41M<0.1%00.0%Unchanged–
ACCAmerican Campus Communities IncCOM91,100$4.41M<0.1%+91,100NewHistory
YSGYatsen Holding LtdADS1,200,000$4.57M<0.1%+1,200,000NewHistory
MSDAMSD Acquisition Corp.CLASS A ORD SHS478,718$4.70M<0.1%+146,822+44.2%AddedHistory
TB SA Acquisition CorpG8657L105CLASS A ORD SHS487,098$4.78M<0.1%00.0%Unchanged–
FirstMark Horizon Acquisition Corp.33765Y101CL A COM488,673$4.79M<0.1%00.0%Unchanged–
AESAES CorpStock211,173$4.82M<0.1%+211,173NewHistory
Joff Fintech Acquisition Cor46592C100COM CL A499,191$4.83M<0.1%00.0%Unchanged–
VPC Impact Acqu Holdi III IN91835J108COM CL A487,156$4.83M<0.1%−4,191−0.9%Reduced–
Pontem CorporationG71707106SHS CL A498,796$4.84M<0.1%00.0%Unchanged–
Tailwind Internatnal Acq CorG8662F101COM CL A499,413$4.84M<0.1%00.0%Unchanged–
ROSSBPGC Acquisition Corp.SHS CL A500,653$4.85M<0.1%00.0%UnchangedHistory
Colombier Acquisition Corp19533H108CL A501,958$4.85M<0.1%+501,958New–
Science Strategic Acq Alpha808641104COM CL A499,982$4.86M<0.1%00.0%Unchanged–
Senior Connect Acquisitn Cor81723H108COM CL A496,954$4.86M<0.1%+246,963+98.8%Added–
Virgin Group Acquisit Corp IG9460K102SHS CL A500,000$4.86M<0.1%00.0%Unchanged–
Vectoiq Acquisition Corp II92244F109COM CL A499,982$4.86M<0.1%00.0%Unchanged–
HIIIHudson Executive Investment Corp. IIICOM CL A499,609$4.86M<0.1%00.0%UnchangedHistory
Agile Growth Corp.G01202103CLASS A ORD500,326$4.86M<0.1%00.0%Unchanged–
DALDelta Air Lines, Inc.COM NEW114,155$4.86M<0.1%−20,145−15.0%ReducedHistory
LHCLeo Holdings Corp. IICOM CL A499,389$4.86M<0.1%00.0%UnchangedHistory
CFIVCF Acquisition Corp. IVCOM CL A499,982$4.87M<0.1%00.0%UnchangedHistory
One Equity Partners Open WTR68237L105CL A499,982$4.87M<0.1%00.0%Unchanged–
Lazard Growth Acquisition CoG54035103SHS499,982$4.87M<0.1%+250,979+100.8%Added–
PCPCPeriphas Capital Partnering CorpCOM CL A199,893$4.87M<0.1%00.0%UnchangedHistory
DGNUDragoneer Growth Opportunities Corp. IIICL A SHS496,859$4.87M<0.1%+496,859NewHistory
TRTLTortoiseEcofin Acquisition Corp. IIISHS CL A501,958$4.87M<0.1%+501,958NewHistory
SONDSonder Holdings Inc.CL A492,958$4.87M<0.1%00.0%UnchangedHistory
GNACGroup Nine Acquisition Corp.COM CL A499,982$4.87M<0.1%00.0%UnchangedHistory
TBCPThunder Bridge Capital Partners III Inc.COM CL A498,993$4.87M<0.1%00.0%UnchangedHistory
LCALandcadia Holdings IV, Inc.CLASS A COM500,000$4.87M<0.1%00.0%UnchangedHistory
SCAQStratim Cloud Acquisition Corp.CLASS A COM500,000$4.87M<0.1%00.0%UnchangedHistory
Acropolis Infrastructure Acq005029103CL A501,958$4.87M<0.1%+501,958New–
HERAFTAC Hera Acquisition Corp.CLASS A ORD SHS500,326$4.87M<0.1%00.0%UnchangedHistory
Compute Health Acquisitin Co204833107COM CL A498,993$4.88M<0.1%00.0%Unchanged–
Health Assurn Acquisition Co42226W109COM CL A498,461$4.88M<0.1%+200,783+67.4%Added–
Blueriver Acquisition CorpG1261Q107SHS CL A499,982$4.88M<0.1%00.0%Unchanged–
AEONAEON Biopharma, Inc.CL A499,982$4.88M<0.1%00.0%UnchangedHistory
APGBApollo Strategic Growth Capital IISHS CL A498,993$4.88M<0.1%00.0%UnchangedHistory
CSTAFConstellation Acquisition Corp ISHS CL A499,587$4.88M<0.1%00.0%UnchangedHistory
Prospector Capital CorpG7273A105CL A499,587$4.88M<0.1%+50,196+11.2%Added–
KKR Acquisition Holding I Co48253T109COM CLASS A500,326$4.88M<0.1%00.0%Unchanged–
ACELAccel Entertainment, Inc.COM CL A1401,923$4.88M<0.1%00.0%UnchangedHistory
Arctos Northstar Acquis CorpG0477L100SHS CL A500,392$4.88M<0.1%00.0%Unchanged–
Monument Circle Acquisitn Co61531M101COM CL A499,982$4.88M<0.1%00.0%Unchanged–
Social Leverage Acquisn Corp83363K102COM CL A499,021$4.88M<0.1%00.0%Unchanged–
Arclight Clean Transition IIG0R21B104CLASS A ORD SHS500,000$4.88M<0.1%00.0%Unchanged–
Esm Acquisition CorporationG3195H104SHS CL A500,326$4.88M<0.1%00.0%Unchanged–
SLAMSlam Corp.CL A SHS500,783$4.88M<0.1%+250,979+100.5%AddedHistory
Primavera Capital Acquist CoG7255E109SHS CL A500,970$4.88M<0.1%+250,979+100.4%Added–
CCVIChurchill Capital Corp VICOM CL A500,000$4.88M<0.1%00.0%UnchangedHistory
LVRALevere Holdings Corp.CLASS A ORD SHS500,587$4.89M<0.1%+150,587+43.0%AddedHistory
Live Oak Mobility Acquisi Co538126103COM CL A505,399$4.89M<0.1%00.0%Unchanged–
Tech and Energy Transition87823R102CLASS A COM500,326$4.89M<0.1%00.0%Unchanged–
BNAIBrand Engagement Network Inc.CLASS A ORD SHS500,326$4.89M<0.1%00.0%UnchangedHistory
Independence Holdings CorpG4761A101CLASS A ORD SHS500,326$4.89M<0.1%00.0%Unchanged–
EOCWElliott Opportunity II Corp.SHS CL A501,958$4.89M<0.1%+501,958NewHistory
FCAXFortress Capital Acquisition CorpSHS CL A499,982$4.89M<0.1%00.0%UnchangedHistory
Crucible Acquisition Corp22877P108COM CL A500,080$4.89M<0.1%+25,097+5.3%Added–
HCNEJaws Hurricane Acquisition CorpCLASS A COM501,958$4.89M<0.1%+501,958NewHistory
Gores Technology Partners II38287L107CLASS A COM500,326$4.89M<0.1%00.0%Unchanged–
Colonnade Acquisition Corp IG2284B101SHS CL A500,326$4.89M<0.1%00.0%Unchanged–
WPCBWarburg Pincus Capital Corp I-BSHS CL A500,326$4.89M<0.1%00.0%UnchangedHistory
Sports Ventures Acquisin CorG8372A103CL A SHS501,958$4.89M<0.1%00.0%Unchanged–
Lefteris Acquisition Corp52470X109COM CL A499,982$4.89M<0.1%00.0%Unchanged–
TZP Strategies Acquistn CorpG91595101CL A SHS499,982$4.89M<0.1%00.0%Unchanged–
Proptech Investment Corp II743497109COM CL A499,982$4.90M<0.1%00.0%Unchanged–
H.I.G. Acquisition Corp.G44898107COM CL A501,958$4.90M<0.1%00.0%Unchanged–
Go Acquisition Corp362019101COM499,982$4.91M<0.1%00.0%Unchanged–
PMVCPMV Consumer Acquisition Corp.COM499,982$4.91M<0.1%00.0%UnchangedHistory
LDH Growth Corp IG54094100CLASS A ORD SHS501,558$4.91M<0.1%+286,317+133.0%Added–

Options (54)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of UBS Oconnor LLC in Q3 2021
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$6.84M–
AALAmerican Airlines Group Inc.Stock$2.97M–
TSLATesla, Inc.Stock$2.23M–
State Street Energy Select Sector SPDR ETF81369Y506ETF–$1.15M
RIGTransocean Ltd.REGISTERED SHS$885.0K–
iShares Tr464288513IBOXX HI YD ETF$690.0K–
Invesco QQQ Trust Series I46090E103ETF$683.0K–
PCGPG&E CorpStock–$404.0K
WTIW&T Offshore IncCOM$377.0K–
CPECallon Petroleum CoCOM$327.0K–
RCLRoyal Caribbean Cruises LtdCOM$323.0K–
FCXFreeport-McMoran IncStock$300.0K–
ENDPEndo International plcSHS$296.0K–
HOGHarley-Davidson, Inc.COM$272.0K–
LUMNLumen Technologies, Inc.Stock$258.0K–
DISHDISH Network CORPCL A$257.0K–
NCLHNorwegian Cruise Line Holdings Ltd.SHS$228.0K–
WYNNWynn Resorts LtdCOM$224.0K–
SPRSpirit AeroSystems Holdings, Inc.COM CL A$200.0K–
ATVIActivision Blizzard, Inc.COM–$199.0K
OXYOccidental Petroleum CorpStock$185.0K–
ADTADT Inc.COM$173.0K–
XRXXerox Holdings CorpCOM NEW$164.0K–
SVCService Properties TrustCOM SH BEN INT$160.0K–
SIXSix Flags Entertainment CorpCOM$153.0K–
STWDStarwood Property Trust, Inc.COM$133.0K–
CPRICapri Holdings LtdSHS$128.0K–
DALDelta Air Lines, Inc.COM NEW$128.0K–
iShares Tr4642874407-10 YR TRSY BD$124.0K–
VSTVistra Corp.Stock–$100.0K
MMacy's, Inc.COM$94.0K–
NGLNGL Energy Partners LPCOM UNIT REPST$93.0K–
XUnited States Steel CorpCOM$34.0K$59.0K
NAVINavient CorpCOM$77.0K–
TGITriumph Group IncCOM$72.0K–
Safehold Inc.45031U101COM$70.0K–
LTHMLivent Corp.COM$68.0K–
MAXRMaxar Technologies Inc.COM$56.0K–
RRCRange Resources CorpCOM$55.0K–
WTWisdomTree, Inc.COM$55.0K–
CCLCarnival Corp Ltd.UNIT 99/99/9999$54.0K–
USOUnited States Oil Fund, LPUNITS$36.0K–
iShares Tr464287184CHINA LG-CAP ETF–$35.0K
TRNTrinity Industries IncCOM$28.0K–
ETEnergy Transfer LPCOM UT LTD PTN–$22.0K
State Street Industrial Select Sector SPDR ETF81369Y704ETF–$19.0K
MGPMGM Growth Properties LLCCL A COM$15.0K–
RYAMRayonier Advanced Materials Inc.COM$13.0K–
CLFCleveland-Cliffs Inc.COM$11.0K–
MATMattel IncCOM$11.0K–
RDNRadian Group IncCOM$10.0K–
OMFOneMain Holdings, Inc.COM$9.00K–
CNXCNX Resources CorpCOM$5.00K–
BLMNBloomin' Brands, Inc.COM$4.00K–

Sold out since Q2 2021 (171)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 171 by value last quarter.

Positions of UBS Oconnor LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
MXIMMaxim Integrated Products IncCOM8,064,116$849.6M7.6%History
ALXNAlexion Pharmaceuticals, Inc.COM4,428,122$813.5M7.3%History
WORKSlack Technologies, Inc.COM CL A11,073,242$490.5M4.4%History
GRAW R Grace & CoCOM5,845,554$404.0M3.6%History
QTSQTS Realty Trust, Inc.COM CL A4,589,086$354.7M3.2%History
PFPTProofpoint IncCOM1,719,764$298.8M2.7%History
PRAHPRA Health Sciences, Inc.COM1,781,846$294.4M2.6%History
TLNDTalend S.A.ADS2,807,976$184.2M1.6%History
Proofpoint Inc743424AF0NOTE 0.250% 8/1–$116.9M1.0%–
CHNGChange Healthcare Inc.COM4,413,561$101.7M0.9%History
NAVNavistar International CorpCOM2,030,345$90.3M0.8%History
Coherent Inc192479103COM325,553$86.1M0.8%–
CBBCincinnati Bell IncCOM NEW4,083,178$63.0M0.6%History
WRIWeingarten Realty InvestorsSH BEN INT1,565,649$50.2M0.4%History
PDACPeridot Acquisition Corp.SHS CL A2,549,352$31.1M0.3%History
NRGNRG Energy, Inc.Stock696,964$28.1M0.3%History
Falcon Capital Acquisitn Cor30606L108COM CL A2,981,629$27.7M0.2%–
AFCGAdvanced Flower Capital Inc.COM1,001,722$20.7M0.2%History
Apellis Pharmaceuticals, Inc.03753UAB2NOTE 3.500% 9/1–$19.6M0.2%–
ELEstee Lauder Companies IncCL A60,000$19.1M0.2%History
ALCAlcon IncStock270,000$19.0M0.2%History
INTCIntel CorpStock326,162$18.3M0.2%History
Cantel Med Corp138098AB4NOTE 3.250% 5/1–$15.3M0.1%–
Newhold Investment Corp651448102COM CL A1,505,873$15.1M0.1%–
ROSTRoss Stores, Inc.COM120,000$14.9M0.1%History
RMG Acquisition Corp IIG76083107CL A SHS1,356,031$13.5M0.1%–
U.S. Global Jets ETF26922A842ETF520,000$12.6M0.1%–
EXPEExpedia Group, Inc.Stock70,000$11.5M0.1%History
NVRNVR IncCOM2,250$11.2M0.1%History
Tortoise Acquisition Corp IIG89554102COM CL A1,027,898$10.3M0.1%–
FSLRFirst Solar, Inc.Stock110,000$9.96M0.1%History
PTCPTC Inc.Stock70,000$9.89M0.1%History
DISH Network CORP25470MAD1NOTE 2.375% 3/1–$9.75M0.1%–
Reinvent Technology PartnersG7483N129CL A903,524$9.02M0.1%–
Dmy Technology Group Inc III233278100COM CLASS A843,306$9.02M0.1%–
VanEck ETF Trust92189F106GOLD MINERS ETF250,000$8.49M0.1%–
PLDPrologis, Inc.REIT70,800$8.46M0.1%History
PYPLPayPal Holdings, Inc.Stock28,000$8.16M0.1%History
Vector Acquisition CorpG9442R126COM CL A738,114$8.04M0.1%–
Protalix BioTherapeutics, Inc.74365AAD3NOTE 7.500%11/1–$7.84M0.1%–
SPNVSpinnova PlcCOM CL A752,937$7.48M0.1%History
Centricus Acquisition CorpG2072Q104CL A SHS741,404$7.34M0.1%–
NEENextera Energy IncStock100,000$7.33M0.1%History
Jaws Juggernaut Acquisitn CoG50735128UNIT 06/17/2026702,741$7.07M0.1%–
GLPIGaming & Leisure Properties, Inc.COM151,200$7.00M0.1%History
Nextgen Acquisition CorpG65305107CL A702,741$6.99M0.1%–
Reinvent Technology PartnersG74847107SHS CL A701,753$6.97M0.1%–
BGBunge Global SACOM80,000$6.25M0.1%History
PWRQuanta Services, Inc.COM67,874$6.15M0.1%History
SLViShares Silver TrustETF250,000$6.05M0.1%History
BNLBroadstone Net Lease, Inc.COM256,000$5.99M0.1%History
ACNAccenture plcStock20,000$5.90M0.1%History
EBEventbrite, Inc.COM CL A310,000$5.89M0.1%History
AZEKAZEK Co Inc.CL A134,810$5.72M0.1%History
FMCFMC CorpCOM NEW51,267$5.55M<0.1%History
CVETCovetrus, Inc.COM205,000$5.54M<0.1%History
LILi Auto Inc.SPONSORED ADS150,000$5.24M<0.1%History
Jaws Hurricane Acquisitn Cor47201B202UNIT 06/08/2026501,958$5.05M<0.1%–
Aurora Acquisition CorpG0698L103CLASS A ORD SHS509,024$5.04M<0.1%–
Colombier Acquisition Corp19533H207UNIT 99/99/9999501,958$4.98M<0.1%–
NHINational Health Investors IncCOM74,200$4.97M<0.1%History
iShares Tr464287630RUS 2000 VAL ETF29,440$4.88M<0.1%–
NTRNutrien Ltd.COM80,000$4.85M<0.1%History
LGL Sys Acquisition Corp50201G106COM CL A471,834$4.71M<0.1%–
NTSTNETSTREIT Corp.COM193,400$4.46M<0.1%History
Ion Acquisition Corp 2 LtdG49393104SHS CL A441,966$4.37M<0.1%–
Soaring Eagle Acquisition CoG8354H126CL A SHS422,847$4.21M<0.1%–
Star Peak Corp II855179107COM CL A409,006$4.05M<0.1%–
Power & Digital Infra Acq Co739190106COM CL A399,195$3.92M<0.1%–
RDWRedwire CorpSHS CL A378,308$3.90M<0.1%History
Corner Growth Acquisitn CorpG2426E112UNIT 05/27/2026351,370$3.54M<0.1%–
DOCHealthpeak Properties, Inc.COM104,070$3.46M<0.1%History
ULTAUlta Beauty, Inc.Stock10,000$3.46M<0.1%History
TWC Tech Hldgs II Corp90117G105COM327,127$3.25M<0.1%–
Nuburu, Inc.87403Q102COM CL A324,607$3.24M<0.1%–
Ion Acquisition Corp 2 LtdG49393120UNIT 99/99/9999318,815$3.22M<0.1%–
LBRTLiberty Energy Inc.COM CL A225,000$3.19M<0.1%History
Alpha Healthcare Acquistn Co020751103CL A300,000$3.06M<0.1%–
OneG7000X105COM CL A305,619$3.05M<0.1%–
TTETotalEnergies SESPONSORED ADS67,251$3.04M<0.1%History
Fintech Acquisition Corp VI31811H205UNIT 06/24/2026301,175$3.04M<0.1%–
Catalyst Partnrs Acquisitn CG19550113UNIT 99/99/9999300,000$3.01M<0.1%–
UAAUnder Armour, Inc.Stock130,000$2.75M<0.1%History
SHWSherwin Williams CoCOM9,600$2.62M<0.1%History
Rice Acquisition Corp762594109COM CL A143,270$2.59M<0.1%–
Orion Biotech Opportuntes CoG6780C125UNIT 04/15/2025250,000$2.52M<0.1%–
Oceantech Acquisitions I Cor675507206UNIT 05/12/2026250,979$2.52M<0.1%–
Global Consumer Acquisitn Co37892B207UNIT 05/21/2026250,979$2.51M<0.1%–
Shelter Acquisition Corp I822821203UNIT 02/25/2026250,000$2.50M<0.1%–
Osiris Acquisition Corp.68829A202UNIT 99/99/9999250,000$2.48M<0.1%–
COLDAmericold Realty TrustCOM64,540$2.44M<0.1%History
WOOFPetco Health & Wellness Company, Inc.CL A COM100,000$2.24M<0.1%History
Sports Entertainment Acqu Co84918M106COM CL A198,807$2.00M<0.1%–
Flyexclusive Inc.26846A209UNIT 99/99/9999200,000$2.00M<0.1%–
SCPESC Health CorpCOM CL A194,648$1.96M<0.1%History
Logistics Innovtn Technlgs C54141L209UNIT 06/10/2026195,764$1.95M<0.1%–
VIEWView, Inc.COM CL A220,989$1.87M<0.1%History
Kensington Capital Acquisiti49006L104COM CL A173,825$1.73M<0.1%–
Navsight Hldgs Inc639358100CL A171,719$1.71M<0.1%–
LTCLTC Properties IncREIT42,200$1.62M<0.1%History